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Neurobiology of Aging 83 (2019) 124e129

Contents lists available at ScienceDirect

Neurobiology of Aging
journal homepage: www.elsevier.com/locate/neuaging

Brain reserve, cognitive reserve, compensation, and maintenance:


operationalization, validity, and mechanisms of cognitive resilience
Yaakov Stern a, Carol A. Barnes b, Cheryl Grady c, Richard N. Jones d, Naftali Raz e, f, *
a
Cognitive Neuroscience Division, Department of Neurology, Columbia University, New York, NY, USA
b
Departments of Psychology, Neurology and Neuroscience, and Evelyn F. McKnight Brain Institute, University of Arizona, Tucson, AZ, USA
c
Rotman Research Institute, Baycrest Centre, and Departments of Psychology and Psychiatry, University of Toronto, Toronto, Ontario, Canada
d
Departments of Neurology and Psychiatry & Human Behavior, Brown University, Providence, RI, USA
e
Institute of Gerontology and Department of Psychology, Wayne State University, Detroit, MI, USA
f
Center for Lifespan Psychology, Max Planck Institute for Human Development, Berlin, Germany

a r t i c l e i n f o a b s t r a c t

Article history: Significant individual differences in the trajectories of cognitive aging and in age-related changes of brain
Received 25 February 2019 structure and function have been reported in the past half-century. In some individuals, significant
Received in revised form 5 March 2019 pathological changes in the brain are observed in conjunction with relatively well-preserved cognitive
Accepted 11 March 2019
performance. Multiple constructs have been invoked to explain this paradox of resilience, including brain
reserve, cognitive reserve, brain maintenance, and compensation. The aim of this session of the Cognitive
Aging Summit III was to examine the overlap and distinctions in definitions and measurement of these
Keywords:
constructs, to discuss their neural and behavioral correlates and to propose plausible mechanisms of
Cognitive aging
Measurement
individual cognitive resilience in the face of typical age-related neural declines.
Animal models Ó 2019 Elsevier Inc. All rights reserved.
MRI
Functional connectivity

1. Introduction them to withstand the onslaught of cognitive aging and to mitigate


the cognitive impairment expected from brain pathology. To
Typical aging is accompanied by declines in multiple cognitive explain this finding, scientists have invoked multiple constructs,
skills, but trajectories of aging exhibit substantial individual dif- including brain reserve, cognitive reserve, brain maintenance, and
ferences. Some individuals show precipitous deterioration, whereas compensation. Brain reserve is a neuroanatomic resource that re-
others maintain their cognitive performance to the end of life. flects structural properties of the brain that somehow afford a
Although multiple factors may determine individual paths of surplus capacity to maintain cognitive function despite substantial
cognitive aging, some people appear more resilient than others to loss of their material substrate. With cognitive reserve, the cogni-
the detrimental effects of aging and the associated pathological tive skills and abilities that are acquired before the onset of neural
changes. Although its origin remains obscure, the concept of indi- deterioration serve as a hedge againstdor even actively miti-
vidual resilience received empirical support in the late 1960s, after gatedloss of function inflicted by the progressive brain failure,
scientists observed a discrepancy between the burden of brain while revealing significant individual differences in resilience and
pathology and ante-mortem cognitive performance in a series of flexibility. Some people appear to be better than others in main-
brain specimens (Blessed et al., 1968). taining structural and functional properties of their brains while
These findings, combined with later observations of recovery aging, with multiple factors contributing to variations in success.
from brain injury (Satz, 1993) and noninvasive neuroimaging of The mechanisms by which brain and cognitive reserve bolster in-
patients with dementia (Stern et al., 1992), have led to the hy- dividual ability to maintain intact cognitive performance over time
pothesis that some individuals may possess a reserve that allows and thus contribute to more successful cognitive aging remain a
topic for ongoing research.
The relationship between brain reserve, cognitive reserve,
* Corresponding author at: Institute of Gerontology and Department of Psy-
maintenance, and compensation and their contribution to resil-
chology, Wayne State University, Detroit, MI 48202, USA, and Center for Lifespan
Psychology, Max Planck Institute for Human Development, Berlin, Germany. Tel.: þ1 ience is the focus of a lively debate within the research community.
313 577 2297; fax: þ1 313 664 666. The arguments center on the core issues of definition and
E-mail address: nraz@wayne.edu (N. Raz).

0197-4580/$ e see front matter Ó 2019 Elsevier Inc. All rights reserved.
https://doi.org/10.1016/j.neurobiolaging.2019.03.022
Y. Stern et al. / Neurobiology of Aging 83 (2019) 124e129 125

measurement of each construct, their differential validity, and their that, in individuals with comparable clinical severity of mild
neural mechanisms, as well as their potential for guiding devel- cognitive impairment or Alzheimer’s disease, those with higher
opment of interventions to mitigate the effects of cognitive aging on levels of these cognitive reserve proxies have more advanced Alz-
behavior. Regardless of how the related and partially overlapping heimer’s type pathology (Bennett et al., 2003; Ewers et al., 2013;
constructs are understood in the overarching notion of resilience, Stern et al., 1992). These observations indicate that individuals
they are all theoretical entities that currently cannot be measured with higher cognitive reserve can better cope with the brain
directly. Therefore, a problem of measuring resilience and evalu- changes and can maintain higher function despite brain
ating the validity of its indicators needs to be addressed. deterioration.
During this session of the Cognitive Aging Summit III, chaired by Cognitive reserve is typically measured via proxies that sum-
Naftali Raz, the speakers sought to define and describe these con- marize experiences that affect reserve, such as educational and
structs to explain the phenomenon of resilience: brain reserve, occupational attainment (Stern et al., 1999). Although these mea-
cognitive reserve, maintenance, and compensation. They examined sures moderate the relationship between brain changes and clinical
the fundamental definition and measurement issues facing the status, they are not direct measures of cognitive reserve and do not
study of resilience and discussed models and mechanisms that reflect the underlying brain processes through which cognitive
describe brain adaptation to age-related changes, and, in principle, reserve operates. Many investigators have studied the “neural
could guide interventions to alleviate age-related cognitive implementation” of cognitive reserve. As these relationships
declines. become better understood, proxies for cognitive reserve may be
replaced with direct measures of specific brain processes that un-
2. Reserve: an evolving concept derlie cognitive reserve. For example, our group has recently
described a pattern of brain activation that occurs when people are
2.1. Yaakov Stern performing almost any task and that is expressed to a greater de-
gree by people with higher IQ than those with lower IQ (Deary et al.,
The term reserve describes the difference between the degree of 2004). Furthermore, expression of this pattern moderates the
brain damage observed in an individual and the clinical manifes- relationship between age-related brain changes and performance.
tation of that damage. At least 2 models explain reserve. Another group has described a resting brain oxygenation level
The brain reserve model defines reserve as a physical trait: some dependent pattern that seems to be associated with increased
people have larger brains, with more neurons and synapses, which cognitive reserve (Franzmeier et al., 2017). Expression of such a
may allow their brains to absorb more injury before cognitive pattern may be a more direct measure of cognitive reserve, and
function is affected (Katzman et al., 1988; Satz, 1993). Brain reserve examination of the pattern may yield information about how
may therefore be thought of as individual differences in the hard- cognitive reserve is neurally implemented.
ware of the brain. Brain reserve can be conceived as a passive entity, Brain reserve and cognitive reserve are not mutually exclusive.
which reflects an overt expression of impairment only after an in- Structural features and dynamic network capacity both play a role
dividual’s capacity falls below a crucial threshold of loss of the brain in how the brain functions in the face of age-related brain changes
substrate (Satz, 1993). People with greater initial brain capacity can and pathology. Furthermore, the concept of brain maintenance
therefore tolerate more neurological attrition in absolute terms suggests that life experiences can mitigate age-related brain
before crossing into impairment. However, some people can changes. A better understanding of the brain’s adaptability will
maintain their brain better than others throughout the aging pro- enable approaches to preserve or increase both brain and cognitive
cess as a function of genetics and life experienceda concept called reserve to delay or reverse the effects of age-related cognitive
brain maintenance (Nyberg et al., 2012). Thus, past life experience decline.
can influence the status of brain reserve at any time.
The cognitive reserve model posits flexibility and adaptability of 3. Animal models of brain adaptation and compensation in
cognitive/brain networks that allow the brain to actively resist the aging
effects of age- or disease-related changes (Stern, 2002). The effi-
ciency and capacity of individuals’ cognitive networks may differ. 3.1. Carol A. Barnes
Similarly, some individuals may be better able to compensate for
brain damage by using alternate brain networks to maintain func- Although humans are unique in developing Alzheimer’s disease,
tion (Cabeza, 2002; Stern, 2009). Cognitive reservedwith its focus many animals display signs of neurodegeneration and cognitive
on functionality, plasticity, and adaptabilitydmay be thought of as decline as they age. Studies of aging, memory, cognitive reserve,
software that carries out the calculations in the brain, which is and compensation in animals may therefore yield important in-
influenced by all aspects of life experience (Stern, 2009). Thus, the sights into changes in brain function during normal aging in
cognitive reserve model can be considered active. Given the same humans. Because it is possible to conduct much more detailed
amount of brain reserve, some people can better cope with age- or mechanistic studies in animals than in humans, animal studies are
pathology-related brain changes than others, depending on their an important piece of the cognitive aging and decline puzzle.
cognitive reserve capabilities. With well-reasoned models, animal studies can provide
Evidence supporting cognitive reserve includes epidemiologic powerful insights into the molecular, cellular, and neural mecha-
data regarding lifestyle and clinical outcomes. Individuals with nisms of human aging. To date, researchers have looked for ele-
higher premorbid IQ, educational or occupational attainment, or ments of brain structure and function that are common across
engagement in late-life leisure activities have a reduced risk of species and have tried to extrapolate insights gained from these
developing dementia (Deary et al., 2004; Scarmeas et al., 2001; studies to humans. Tests of spatial memorydthe ability to recall
Stern et al., 1994; Valenzuela and Sachdev, 2006) and may have where things are in physical or virtual three-dimensional space-
slower rates of age-related cognitive decline (Zahodne, 2015). The dare particularly useful when comparing data from studies of
underlying assumption is that some aspect of these experiences has humans and other animals because language is not an essential
allowed people to better cope with age- or disease-related changes. aspect of that area of cognition. Spatial memory and spatial navi-
Thus, these experiences have often been used as proxy measures for gation strategies are linked to the functional and structural prop-
cognitive reserve. In addition, many studies have demonstrated erties of brain structures that are common to all mammals: the
126 Y. Stern et al. / Neurobiology of Aging 83 (2019) 124e129

hippocampus, the entorhinal cortex, and the striatum. Measure- cellular mechanisms that control synapse numbers and function
ments of spatial memory and spatial navigation in classic laboratory throughout the life span may provide important insights into the
paradigmsdfor example, the water mazedhave been extrapolated key mechanisms of cognitive decline. To advance this goal, we must
into the human realm via virtual reality analogs (Daugherty et al., improve translational strategies that bridge animal and human
2016; Moffat et al., 2001) to reveal individual differences in the research on aging.
associations between regional brain properties and cognition in
humans and rodents (Lester et al., 2017). 4. Age differences in the dynamic flexibility of brain activity
Notably, spatial memory deficits have been observed across all and functional connectivity
animals at the ages at which they are considered to be “old,” for
example, approximately 65 years for humans, 22 years for ma- 4.1. Cheryl L. Grady
caques, and 2 years for rats. The timing and extent of these memory
differences and changes over time, however, exhibit substantial The dynamic flexibility of the brain allows it to incorporate and
interindividual variability. Animal studies helped to establish that react to new information in real time and to rebalance or form new
age-related memory declines do not stem from cell death, which is neural connections to adapt to new circumstances (Garrett et al.,
not simply a part of normal aging. In fact, within the hippocampus, 2013). In older adults (e.g., at least 65 years of age), several neural
a brain region key to the formation of new memories, there is no processes that are fundamentally associated with dynamic flexi-
age-related difference in abundance of its primary cell type- bility are altered. These include differentiation, defined as stimulus-
sdneither granule cells of the dentate gyrus nor CA3 or CA1 py- related or task-related specificity of activity in various neural net-
ramidal cells (Gray and Barnes, 2015; Keuker et al., 2003; Rapp and works, and functional connectivity among brain networks.
Gallagher, 1996; West, 1993). Studies of task dynamics in older adults show dedifferentiation
After these observations, scientists focused the animal models of of brain activity during memory and other tasks (i.e., reduced
human memory on the age-related loss of function of neurons, that selectivity). This observation has led to the hypothesis that selective
is, their plasticity, adaptability, or connectivity rather than the brain activity is important for some subset of memory tasks; it
number of neurons. The overarching hypothesis is that older in- further suggests that reduced selectivity may be a mechanism un-
dividuals with high cognitive ability would have more plastic, derlying the observed age differences. For example, a representa-
denser, or stronger connections among their neurons than would tive memory function that shows age-related differences is
their lower-performing peers (Barnes, 1979; Barnes and associative memory, which reflects the ability to bind together
McNaughton, 1980; Bondareff and Geinisman, 1976; Norris et al., disparate pieces of information and to form a unified representa-
1996; Rogalski et al., 2012; Stoub et al., 2012). tion of the combined stimulus (Old and Naveh-Benjamin, 2008). In
Aging animals frequently show loss in the components of neu- a typical experiment to test this memory skill, participants are
ropil. They evidence thinner dendritic arbors and greater “axon shown pairs of unrelated images and later are asked to discriminate
pruning,” a loss of pathways carrying signals from neural cell bodies represented (“old”) pairs from new pairs that the participants have
to other cells via synaptic connections. As the main components of not seen. On average, older adults remember these paired stimuli
neuropil, axons and dendrites are essential for formation of syn- more poorly than do younger adults. When the tests are adminis-
apses and eventual arrangement of individual neurons into com- tered as a part of a functional MRI (fMRI) experiment, older par-
plex circuits. Their loss during aging is therefore a plausible ticipants show reduced selectivity in brain regions that are
explanation for impaired communication among neurons, regard- specifically involved in encoding the paired images (Saverino et al.,
less of the sheer number of communicating cells. Importantly, 2016), consistent with their reduced associative memory. This
studies in rats revealed that older rats that display fewer granule provides evidence that reduced selectivity (dedifferentiation) of
cell synapses compared with their younger counterparts show brain activity during encoding, one type of dynamic brain activity,
increased strength of the individual signals transmitted across the may be an important mechanism underlying reduced memory
remaining synapses (Barnes and McNaughton, 1980). Thus, an performance in older adults.
adjustment in synaptic strength may form a neural substrate of The past 2 decades saw a surge in studies of task-free (resting
compensation, as far as it provides some degree of stability of state) connection dynamics of brain activity in fMRI experiments,
function across the neural circuit. providing another measure of brain flexibility, that is, the functional
Studies in aging rodents show that although synapses onto connectivity within and between brain networks at rest. In this
granule cells are stronger in older animals, the overall output from paradigm, time-dependent fMRI signals recorded in specific
granule cells onto CA3 neurons is still reduced. Consistent with the neuroanatomic locations are examined for coherent and covarying
idea that the brain may continuously adapt during the normative activity, with higher coherence signifying stronger functional con-
aging process, CA3 neurons that receive less input from their nectivity. Three functional brain networks of particular interest are
partner neurons with age are more sensitive to the input they the default mode network, the dorsal attention network, and the
receive, that is, they are hyperexcitable (Foster et al., 1991; Wilson frontoparietal control network, which have been linked to internal
et al., 2005). Studies in nonhuman primates also show increased attention, external attention, and cognitive control, respectively
excitability of single CA3 neurons, which suggests a possible (Spreng et al., 2013). In general, older adults have weaker connec-
mechanism for this change in circuit function: a decrease in the tions within nodes of an individual network but stronger connec-
number of inhibitory neurons in the CA3 region that contain the tions between different networks (Chan et al., 2014). Frontoparietal
neurotransmitter GABA effectively reduces levels of inhibition of control network integration is inversely related to default mode
CA3 cells (Thome et al., 2016). Consistent with this observation, network connectivity in older adults, with stronger between-
magnetic resonance imaging (MRI) memory experiments in older network connections in the frontoparietal control network in
humans show greater activation in the CA3 region (Yassa et al., those individuals with weaker connections within the default mode
2011). network (Grady et al., 2016). In addition, frontoparietal control
These studies underscore the brain’s adaptability in the face of network integration is positively correlated with memory perfor-
reduced neural resources and relative increases in external de- mance in older adults. These observations raise that possibility that
mands, as outlined in a recent model of brain adaptability and more robust frontoparietal control network connectivity might be a
plasticity (Lӧvdén et al., 2010). Elucidation of the molecular and source of cognitive reserve.
Y. Stern et al. / Neurobiology of Aging 83 (2019) 124e129 127

Both lines of research converge on the notion of robust age- measure normal and pathological changes in brain structure and
related and individual differences in the dynamic range of brain function. Measures of cognitive function are vulnerable to con-
activity. Age-related reduction in selectivity of task-related brain founding variables, including possible selection bias in samples, the
activity is linked to poorer associative memory, whereas increased effect of practice, and mere exposure to multiple testing, as well as
integration of the frontoparietal control network at rest is associ- artifactual effects related to floors and ceilings in cognitive perfor-
ated with better memory performance in older adults. Importantly, mance. Defining the influence on cognitive aging of these variables
dynamic brain activity is related to cognitive performance regard- and devising methods to measure them are important steps to
less of age and therefore elucidating this aspect of brain function improve our understanding of aging. In summary, fine-tuning
may advance understanding of cognition in general as well as age- theoretical concepts and developing reliable and valid indicators
related differences therein. should go together in promoting our understanding of resilience
and harnessing its power for improving the cognitive trajectories of
5. (Mis-) measurement of reserve older adults.

5.1. Richard N. Jones 6. Discussion

The brain pathology that is often seen in demented individuals No single approach will fully reveal how cognitive resilience is
can also be present in cognitively normal elderly adults who show implemented in the brain. The emphasis should be on multimodal
no or very limited signs of cognitive decline (Blessed, 1968; Satz, neuroimaging studies that will combine noninvasive neuroimaging
1993). This observation has led to the hypothesis that some methods geared to simultaneously evaluate neuropil volume,
elderly adults may possess a reserve that allows them to continue to myelin content, white-matter connectivity, and axonal integrity, as
function well in the face of sometimes significant brain pathology. well as functional organization and key neurotransmitters over
Although many researchers accept the concept of brain or cognitive multiple occasions throughout life span. More studies should
reserve, it has proven difficult to define it specifically and to address the neuroenergetic (Raz and Daugherty, 2018) and vascular
quantify it accurately. Several biological traits (e.g., brain size) (Satz, (Raz and Rodrique, 2006) correlates of age-related changes in brain
1993) and socialdemographic characteristics (e.g., years of educa- structure and function.
tion) (Stern et al., 1999) have been associated with reserve. Yet, it The limitations of cross-sectional designs and their inability to
remains unclear whether and how these factors are fundamental to capture the dynamics of aging even in a single modality, not to
reserve as a construct. mention the brain-cognitive relationship, has been highlighted by
The uncertainty surrounding the exact nature of reserve has led many methodologists (Hofer and Sliwinski, 2001; Lindenberger
to approaches to measure reserve as a latent, or hidden, variable et al., 2011; Maxwell and Cole, 2007). Overcoming this limitation
(Jones et al., 2011). Latent variables represent theoretical constructs is a daunting task, and it is made even more challenging by the fact
that cannot be directly observed and measured. Their existence can that researchers’ life spans are commensurable with that of the
be inferred through observation and modeling of other variables subjects of their study. Thus, there is a need for long-term longi-
that can be directly observed and measured, that is, indicators. The tudinal studies with multiple measurement occasions. Moreover,
uncertainty of the relationship between the construct and its in- refinement of the existing animal models and development of new
dicators is a major theoretical issue in research on reserve and ones that optimize the demands for manageable life span, sufficient
resilience and it hinges on the distinction between the formative neuroanatomical and neurofunctional homology, and comparable
and reflective natures of the postulated entity. In the formative pattern of age-related diseases and risk factors is a critical need.
model, the latent variable is created by and is a consequence of the The challenges notwithstanding animal models are of critical
measurable variables. In the reflective model, the measurable var- importance. Only in well-controlled animal studies can we examine
iables are viewed as being caused by and reflecting one or more synaptic and cellular indicators of resilience with a full range of
facets of the underlying, unseen but theoretically derived, latent invasive techniques. To optimize this path of investigation, it is
variable. In either case, carefully identifying and reliably measuring necessary to take a translational harmonization approach. That is,
the appropriate indicators is key because they provide insights into traditional techniques of animal research (e.g., intracellular re-
the unknown, latent factor. cordings, genetic and epigenetic manipulations, radiolabeling)
The distinction between formative and reflective constructs is should be supplemented with noninvasive neuroimaging that
not just a matter of classification. These 2 models lead to distinct replicates in the closest possible manner human methods of brain
interpretation of the empirical data and have very different impli- mapping. Existing studies of this type have already yielded
cations for designing interventions to mitigate age-related cogni- important insights into the nature of regional volume changes
tive decline. If the formative model is correct, then measured observed on MRI in humans; for example, a recent study of rodents
variablesdsuch as educationdcause the accumulation of reserve, demonstrated the parallelism between stress-induced changes in
and increasing years of education would make an individual less dendritic arborization and MRI-derived volumes of the hippocam-
susceptible to cognitive decline. If the reflective model is correct, pus and anterior cingulate gyrus (Kassem et al., 2013).
then some yet-unknown factor influences education, reserve, and a The challenges posed by the extraordinary complexity of the
host of other characteristics, and identifying appropriate reflective brain can be ameliorated by adopting the mathematical methods
indicators is key. These theory-derived indicators would need to be that have been developed in other disciplines that study complex
tested in observational or experimental settings to determine systems (Gu et al., 2015). Adopting the framework of control theory
whether they adequately account for lifetime cognitive ability, with to analyze age-related differences and changes in configuration of
formative versus reflective models explicitly compared in their fit to brain networks may help elucidate the mechanisms of resilience
the data (Hagger-Johnson et al., 2011). through understanding of preservation and maintenance of
Reserve, as it is currently conceived, is an important modulating fundamental connectivity as well as (potentially compensatory)
factor between brain decline (gradual or catastrophic) and cogni- response of the aging brain to structural deterioration in the
tive outcomes. To understand and measure the impact of reserve on context of cognitive reserve.
this relationship, it is important that researchers accurately assess Because resilience is by all accounts built over a lifetime, it is
the behavioral and cognitive indicators as well as accurately important to address its developmental roots and the risk factors
128 Y. Stern et al. / Neurobiology of Aging 83 (2019) 124e129

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Acknowledgements Neuropsychol. Soc. 17, 593e601.
Kassem, M.S., Lagopoulos, J., Stait-Gardner, T., Price, W.S., Chohan, T.W., Arnold, J.C.,
The authorship order reflects the order of presentations in the Hatton, S.N., Bennett, M.R., 2013. Stress-induced grey matter loss determined by
MRI is primarily due to loss of dendrites and their synapses. Mol. Neurobiol. 47,
session. The Cognitive Aging Summit III was supported by a grant 645e661.
from McKnight Brain Research Foundation to the Foundation for Katzman, R., Terry, R., DeTeresa, R., Brown, T., Davies, P., Fuld, P., Renbing, X., Peck, A.,
the National Institutes of Health. The authors gratefully acknowl- 1988. Clinical, pathological, and neurochemical changes in dementia: a sub-
group with preserved mental status and numerous neocortical plaques. Ann.
edge our sources of funding: National Institutes of Health grant R01 Neurol. 23, 138e144.
AG026158 to YS; National Institutes of Health grants R01 Keuker, J.I.H., Luiten, P.G.M., Fuchs, E., 2003. Preservation of hippocampal neuron
AG003376, R01 AG050548, and McKnight Brain Research Founda- numbers in aged rhesus monkeys. Neurobiol. Aging 4, 157e165.
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